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Conferences & Events

COVID-19: A Message From FINRA

Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services industry. 

FINRA Conferences and educational events provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts. Attendees sharpen their knowledge of rules and regulations, and share experiences with regulators, peers and other industry professionals. Many of these educational offerings qualify for CPE and CLE credits.

FINRA Virtual Conference Panels

Virtual conference panels provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts.

Conferences


FINRA Firm Grouping Member Forum: Retail

December 9, 2021 • Virtual
FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-one with FINRA Risk Monitoring Analysts, Directors, and Single Points of Accountability (SPoA) to discuss firm-specific questions.

2021 Firm Grouping Member Forum: Retail Brochure


2022 Annual Conference

May 16 – 18, 2022 • Washington, DC
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.


2021 Small Firm Virtual Conference

The Small Firm Virtual Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.

2021 Small Firm Virtual Conference Brochure


FINRA Firm Grouping Member Forum: Trading and Execution

FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-one with FINRA Risk Monitoring Analysts, Directors, and Single Points of Accountability (SPoA) to discuss firm-specific questions.

2021 Firm Grouping Member Forum: Trading and Execution Brochure


2021 Access and Impact Conference: Gauging the Participation of Diverse Communities in the Capital Markets

Join the FINRA Investor Education Foundation, FINRA's Office of the Chief Economist, and NORC at the University of Chicago for a discussion with leaders in academia, industry, and regulators to explore original academic and industry research and the current body of policy governing diversity, equity, and inclusion in the capital markets. During this event, panelists examine methods and impacts of increasing access or reducing impediments to the provision of financial services to diverse communities.

2021 Access and Impact Conference Brochure


FINRA Firm Grouping Member Forum: Capital Markets and Investment Banking

FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-one with FINRA Risk Monitoring Analysts, Directors, and Single Points of Accountability (SPoA) to discuss firm-specific questions.

2021 Firm Grouping Member Forum: Capital Markets and Investment Banking Brochure


2021 Annual Conference

FINRA's premier event — The 2021 FINRA Annual Conference was held entirely online. The virtual conference provided the opportunity for practitioners, peers and regulators to exchange ideas on timely compliance and regulatory topics.

2021 Annual Conference Online Brochure


2020 FINRA Artificial Intelligence (AI) Virtual Conference On-Demand Sessions

FINRA’s Virtual Artificial Intelligence (AI) Conference and FinTech Office Hours occurred on November 9 and November 10, respectively. The Virtual AI Conference was a half day event designed to bring together regulators and industry leaders within the financial industry to discuss the use of AI and related opportunities and challenges. 

The Fintech Office Hours were hosted by FINRA’s Office of Financial Innovation (OFI) and designed to engage with broker-dealers, vendors, and other market participants seeking to bring forth FinTech innovations. 

2020 FINRA Artificial Intelligence (AI) Virtual Conference Online Brochure


2020 Cybersecurity Conference

FINRA’s Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks. Whether you are the Chief Information Security Officer, an IT professional, compliance officer or business owner, you will learn from leading experts in the industry and participate in engaging sessions to leave you with valuable information to help you protect your organization.


2021 FINRA Virtual Technology Conference

The 2021 FINRA Virtual Technology Conference showcases the latest technology offerings to our member firms. Technology is transforming the Financial Services industry and FINRA is dedicated to supplying our members with innovative technology designed to protect investors and ensure market integrity.

2021 FINRA Virtual Technology Conference Brochure


FINRA Firm Grouping Member Forum: Diversified and Carrying & Clearing

FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-one with FINRA Risk Monitoring Analysts, Directors, and Single Points of Accountability (SpoA) to discuss firm-specific questions.

2021 FINRA Firm Grouping Member Forum: Diversified and Carrying & Clearing Online Brochure

Events


2021 Compliance Outreach Program for Municipal Advisors Webcast

October 7, 2021
Co-sponsored by the SEC, MSRB and FINRA, this free webcast program is designed to provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors.

2021 Compliance Outreach Program for Municipal Advisors Agenda


Virtual Compliance Boot Camps

FINRA's Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting.

Virtual Conference Panels

Virtual conference panels provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts.


Phone-In Workshops

FINRA's Phone-In Workshops are an easy and convenient way to stay current on the latest regulatory topics.


Foundations of CRD/IARD Training

Designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to CRD and IARD, or who want to receive a refresher and registration tips.


FINRA Registration and Disclosure Bootcamp

This training, designed for firm staff who are new to reporting disclosure information in CRD, is focused on interpreting and complying with disclosure reporting requirements as well as “hot topic” securities registration issues.


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